Senior IT Auditor - Broker Dealer
Company: TD Ameritrade
Location: Jersey City
Posted on: January 9, 2022
Location Jersey City, New Jersey, United States Requisition ID
2021-74029 Category Risk Position Type Regular CO Salary Range N/A
The Internal Audit Department (IAD) of The Charles Schwab
Corporation provides independent and objective assessments to
figure out whether all significant risks are identified and
appropriately reported by management and risk functions to the
Board and Executive Management, to evaluate whether risks are
adequately controlled, and to challenge Executive Management to
improve the efficiency of governance processes, risk management,
and internal controls. The Broker-Dealer/Asset Management
enterprise team is seeking a Senior Auditor (Senior Specialist
internal title). The Broker-Dealer/Asset Management team provides
internal audit coverage of the business process activities and
compliance functions for Schwab's registered domestic and
international broker-dealers and registered retail and
institutional investment advisors. The team's scope includes audit
execution and oversight for Schwab's: (i) client-facing activities
supporting retail investors and independent investment advisors on
Schwab's platform and their clients; (ii) client product solutions
and market expertise; (iii) portfolio advisory services and
research; (iv) asset management functions; (v) corporate client
services, including stock plan services, retirement plan services,
and compliance and employee trade monitoring solutions; and (vi)
middle and back office operational functions. Reporting to a
Managing Director in the Broker-Dealer/Asset Management enterprise
team, the Senior Specialist will have responsibility for assisting
in the for the independent and objective assurance activity
designed to improve the organization's operations and compliance
with key regulations by evaluating and improving the efficiency of
risk management, control, and governance processes. What you are
- Audit Execution: Participate in the planning and execution of
internal audit assignments, ensuring work is performed in
accordance with IIA standards and IAD policies and procedures.
Responsibilities will include: scheduling and participation in
audit meetings; participation in scoping discussions; drafting of
audit results; design and execution of testing; and completion and
review of work papers. Additionally, assist in the tracking of team
operations including audit status, issue status, and budgets.
- Issues Identification: Based on the results of audit testing,
identify and draft audit observations for review by the Internal
Audit Manager/Senior Manager (and above levels) and subsequent
debriefing with the key partners (typically VP-level and
- Issue Management and Validation: Conduct validation testing of
the audit issue action plans completed by the business.
- Risk Assessment: Under the direct supervision of IAD
Management, participate in the annual Risk Assessment process,
including scheduling and participation in meetings with partners,
and the scoring and documentation of risk ratings.
- Coaching: Provide support, mentoring, and feedback to audit
team members throughout the audit. Provide assistance with
onboarding and ongoing support to new team members.
- Administration/Training: Completion of firm-wide and
departmental administration and training requirements.
- Other Initiatives/Special Projects: As needed, assist with
special projects related to business operational improvement or
internal team needs. What you have
- 3 - 5+ years of financial services-related audit experience
with growing responsibility. Broker Dealer/Asset Management
experience specific to internal audit and/or similar Big 4
accounting or regulatory experience a plus.
- Demonstrated experience performing internal audits amongst a
sophisticated operational and regulatory environment.
- Ability to work as a member of a project team and cultivate a
strong working relationship with external co-sourcing providers and
internal lines of businesses.
- CPA, CIA, CISA strongly preferred. Other relevant
certifications will be considered.
- Understanding of risks and internal controls and the ability to
evaluate and figure out adequacy and efficiency of controls.
- Stays current on industry and regulatory issues and standard
methodologies for AML; imparts this knowledge to the team and the
- Excellent analytical skills, including the ability to
anticipate issues and to craft appropriate solutions.
- Strong verbal and written communication skills with a shown
ability to articulate effectively and authoritatively.
- Ability to travel 15-20% Why work for us? Own Your Tomorrow
embodies everything we do! We are committed to helping our
employees ignite their potential and achieve their dreams. Our
employees get to play a central role in reinventing a
multi-trillion-dollar industry, creating a better, more modern way
to build and manage wealth. Benefits: A competitive and flexible
package designed to empower you for today and tomorrow. We offer a
competitive and flexible package designed to help you make the most
of your life at work and at home-today and in the future. Explore
further . Schwab is committed to building a diverse and inclusive
workplace where everyone feels valued. As an Equal Opportunity
Employer, our policy is to provide equal employment opportunities
to all employees and applicants without regard to any status that
is protected by law. Please click here to see the policy. Schwab is
an affirmative action employer, focused on advancing women, racial
and ethnic minorities, veterans, and individuals with disabilities
in the workplace. If you have a disability and require reasonable
accommodations in the application process, contact Human Resources
at firstname.lastname@example.org or call 800-275-1281 . TD
Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity
Employer. At TD Ameritrade we believe People Matter. We value
diversity and believe that it goes beyond all protected classes,
thoughts, ideas, and perspectives. Get the answers to the most
frequently asked questions about working at Schwab and TD
Ameritrade. Schwab is committed to building a diverse and inclusive
workplace where everyone feels valued. As an equal employment
opportunity employer, our policy is to provide equal employment
opportunities to all employees and applicants without regard to any
status that is protected by law (Equal Employment Opportunity
policy ). Schwab is also an affirmative action employer, focused on
advancing women, minorities, veterans, and individuals with
disabilities in the workplace. We believe diversity and inclusion
are part of our success as a company and our purpose of serving
every client with passion and integrity. The Charles Schwab
Corporation provides a full range of brokerage, banking, and
financial advisory services through its operating subsidiaries. Its
broker-dealer subsidiary, Charles Schwab & Co., Inc. (member SIPC
), offers investment services and products, including Schwab
brokerage accounts. Its banking subsidiary, Charles Schwab Bank,
SSB (member FDIC and an Equal Housing Lender), provides deposit and
lending services and products. Access to Electronic Services may be
limited or unavailable during periods of peak demand, market
volatility, systems upgrade, maintenance, or for other reasons. TD
Ameritrade is an Equal Opportunity Employer. At TD Ameritrade we
believe that People Matter. We value diversity and believe that it
transcends all protected classes, thoughts, ideas, and
perspectives. Our commitment to building an inclusive culture is
aimed at attracting and retaining diverse talent, clients, and
shareholders to the firm. It's a belief that's core to the success
of our organization. TD Ameritrade, Inc. (member FINRA/SIPC), a
subsidiary of The Charles Schwab Corporation. TD Ameritrade is a
trademark jointly owned by TD Ameritrade IP Company, Inc. and The
Toronto-Dominion Bank. This site is designed for U.S. residents.
Non-U.S. residents are subject to country-specific restrictions.
Learn more about our services for non-U.S. residents .
Keywords: TD Ameritrade, Jersey City , Senior IT Auditor - Broker Dealer, Accounting, Auditing , Jersey City, New Jersey
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